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NWAM LLC Portfolio holdings

AUM $1.74B
1-Year Est. Return 32.48%
This Fund
S&P 500
This Quarter Est. Return
+3.04%
1 Year Est. Return
+32.48%
3 Year Est. Return
+94.99%
5 Year Est. Return
+115.71%
10 Year Est. Return
+259.09%
AUM
$301M
AUM Growth
-$1.02B
Cap. Flow
-$953M
Cap. Flow %
-315.99%
Top 10 Hldgs %
24.89%
Holding
316
New
36
Increased
102
Reduced
121
Closed
29

Top Buys

Rank Stock Value
1
FLC
Flaherty & Crumrine Total Return Fund
FLC
+$6.05M
2
DRA
Diversified Real Asset Income Fd
DRA
+$1.74M
3
AMZN icon
Amazon
AMZN
+$1.17M
4
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$1.06M
5
SDY icon
State Street SPDR S&P Dividend ETF
SDY
+$1.02M

Top Sells

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$8.18M
2
RSP icon
Invesco S&P 500 Equal Weight ETF
RSP
+$1.37M
3
PGX icon
Invesco Preferred ETF
PGX
+$1.19M
4
PG icon
Procter & Gamble
PG
+$1.06M
5
ENBL
ENABLE MIDSTREAM PARTNERS, LP
ENBL
+$1.02M

Sector Composition

Rank Sector Weight
1 Financials 7.5%
2 Technology 6.3%
3 Industrials 4.75%
4 Communication Services 4.63%
5 Energy 4.61%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NLY icon
101
Annaly Capital Management
NLY
$16.9B
$762K 0.25%
19,115
-3,088
-14% -$126K
ANIP icon
102
ANI Pharmaceuticals
ANIP
$1.8B
$750K 0.25%
12,369
-310
-2% -$19K
IYE icon
103
iShares US Energy ETF
IYE
$1.7B
$747K 0.25%
17,990
+928
+5% +$37K
PCN
104
PIMCO Corporate & Income Strategy Fund
PCN
$875M
$741K 0.25%
50,131
-2,809
-5% -$41.5K
RDS.A
105
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$731K 0.24%
13,434
-403
-3% -$20.8K
VBR icon
106
Vanguard Small-Cap Value ETF
VBR
$37.1B
$730K 0.24%
6,035
+115
+2% +$13.2K
VGR
107
DELISTED
Vector Group Ltd.
VGR
$727K 0.24%
52,178
-16
-0% -$208
ANH
108
DELISTED
Anworth Mortgage Asset Corporation
ANH
$720K 0.24%
139,350
-2,000
-1% -$10.1K
MCD icon
109
McDonald's
MCD
$190B
$707K 0.23%
5,809
-2,270
-28% -$266K
AAXJ icon
110
iShares MSCI All Country Asia ex Japan ETF
AAXJ
$3.65B
$703K 0.23%
12,790
+218
+2% +$12.6K
NAD icon
111
Nuveen Quality Municipal Income Fund
NAD
$2.78B
$696K 0.23%
49,865
– –
DHR icon
112
Danaher
DHR
$144B
$692K 0.23%
10,027
+380
+4% +$26.4K
HDV
113
iShares Core High Dividend ETF
HDV
$14.2B
$672K 0.22%
+40,860
New +$658K
TSLA icon
114
Tesla
TSLA
$1.43T
$646K 0.21%
+45,330
New +$596K
SLB icon
115
SLB Ltd
SLB
$70.3B
$641K 0.21%
7,630
+354
+5% +$29K
NRK icon
116
Nuveen New York AMT-Free Quality Municipal Income Fund
NRK
$925M
$638K 0.21%
49,767
– –
C icon
117
Citigroup
C
$217B
$637K 0.21%
10,714
-118
-1% -$6.37K
VTI icon
118
Vanguard Total Stock Market ETF
VTI
$658B
$637K 0.21%
5,527
-4
-0.1% -$450
FAX
119
abrdn Asia-Pacific Income Fund
FAX
$592M
$627K 0.21%
22,588
-1,391
-6% -$40.4K
IWM icon
120
iShares Russell 2000 ETF
IWM
$82.2B
$625K 0.21%
4,633
+3,017
+187% +$386K
WELL icon
121
Welltower
WELL
$172B
$625K 0.21%
9,333
-72
-0.8% -$4.77K
AMGN icon
122
Amgen
AMGN
$198B
$624K 0.21%
4,265
+1,173
+38% +$177K
MRK icon
123
Merck
MRK
$315B
$612K 0.2%
10,897
+781
+8% +$45.7K
IBB icon
124
iShares Biotechnology ETF
IBB
$9.23B
$588K 0.2%
6,645
-6
-0.1% -$546
AGN
125
DELISTED
Allergan plc
AGN
$584K 0.19%
2,782
-35
-1% -$7.25K
3 4
5
6 7

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VCM
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PAIM
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RIA
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SFI
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MAM
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NWAM LLC's Q4 2016 Portfolio in Review

As of Q4 2016, NWAM LLC held 316 positions worth $301M, down 77% from $1.32B the previous quarter. Its ten largest holdings account for 25% of the portfolio.

NWAM LLC withdrew a net $953M in Q4 2016, closing 29 positions and reducing 121 holdings. Its most notable exit was Apple, an estimated $8.18M position sold in full.

By sector, the portfolio is most concentrated in Financials at 7.5% of assets, up from 1.3% a quarter earlier, followed by Technology and Industrials.

Against the trend, NWAM LLC opened a new position in Flaherty & Crumrine Total Return Fund worth $5.95M.

  • NWAM LLC's largest Q4 2016 buy was Flaherty & Crumrine Total Return Fund: 299,205 shares worth $5.95M.
  • NWAM LLC added most to Amazon in Q4 2016, an estimated $1.17M increase.
  • NWAM LLC's biggest Q4 2016 reduction was Invesco S&P 500 Equal Weight ETF, cutting an estimated $1.37M.
  • NWAM LLC fully exited Apple in Q4 2016, selling an estimated $8.18M.
  • NWAM LLC's ten largest holdings make up 25% of its $301M portfolio in Q4 2016.
  • NWAM LLC opened 36 new positions and closed 29 in Q4 2016.
  • NWAM LLC's portfolio value fell 77% quarter-over-quarter to $301M.

Based on NWAM LLC's 13F filing for Q4 2016, filed 2 Feb 2017.